Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Makes Whistleblower Award in Connection With Retaliation Case

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Employment, Investment Advisers, Litigation The SEC announced a maximum whistleblower award payment of 30 percent of amounts collected in connection with In the Matter of Paradigm Capital Management, Inc. and Candace King Weir, File No. 3-15930 (June 16, 2014), the SEC’s first retaliation case.  The whistleblower will receive over $600,000 for providing key original information that led to the […] Read more →

by   |   April 28, 2015

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SEC Imposes $6 Million in Penalties for Straw Purchaser Arrangement

Broker-Dealer, Consumer Protection, Investment Advisers On March 26, 2015, the SEC settled charges against 22 parties relating to arrangements by which companies not registered as broker-dealers purchased securities on behalf of Global... Read more →

by   |   March 31, 2015

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What is a Security? Even the SEC Can’t Always Tell

Broker-Dealer, Consumer Protection, Investment Advisers On February 27, 2015, an Administrative Law Judge (ALJ) determined that, contrary to claims by the SEC, interests in an LLC that invested in conservation easements as a tax... Read more →

by   |   March 5, 2015

SEC Identifies Enforcement Priorities for Hedge Funds and Private Equity Funds

Investment Advisers, Private Equity Julie M. Riewe, Co-Chief, Asset Management Unit, SEC Division of Enforcement identified enforcement priorities for hedge funds and private equity funds. For private funds —... Read more →

by   |   February 27, 2015